RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Teams that joined A.G.P / Alliance Global Partners
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Ridgewood, Nj | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2026 |
| 2 | Maxim Financial Advisors LLC independent RIA | A.G.P / Alliance Global Partners independent RIA | New York, Ny | RIA to RIA | Feb 21, 2025 over 7 d |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2024 |
| 2 | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Washington, Dc | Affiliated broker-dealer or bank to independent RIA | Mar 4, 2024 |
| 3 | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Rochelle Park, Nj | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2023 |
| 2 | Stifel, Nicolaus & Company, Incorporated national BD | A.G.P / Alliance Global Partners independent RIA | Charlotte, Nc | Affiliated broker-dealer or bank to independent RIA | Aug 24, 2023 over 7 d |
| 3 | B. Riley Wealth Advisors, Inc. BD affiliated | A.G.P / Alliance Global Partners independent RIA | New York, Ny | Affiliated broker-dealer or bank to independent RIA | Jul 19, 2022 over 3 d |
| 2 | LPL Financial LLC BD affiliated | A.G.P / Alliance Global Partners independent RIA | Ft Lauderdale, Fl | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2021 |
| 2 | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | Holmdel, Nj | Affiliated broker-dealer or bank to independent RIA | May 26, 2021 |
| 3 | Aegis Capital Corp. BD affiliated | A.G.P / Alliance Global Partners independent RIA | New York, Ny | Affiliated broker-dealer or bank to independent RIA | Mar 19, 2021 over 12 d |
| 2 | Spartan Capital Private Wealth Management LLC state registered | A.G.P / Alliance Global Partners independent RIA | Weston, Ct +1 | Other | Jul 10, 2020 |
| 2 | Summit Financial Group Inc BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Boca Raton, Fl | Affiliated broker-dealer or bank to another | Aug 23, 2019 |
| 2 | Foresters Advisory Services, LLC BD affiliated | A.G.P / Alliance Global Partners BD affiliated | Sunrise, Fl | Affiliated broker-dealer or bank to another | Feb 4, 2019 |